A. Categories of Transmission Requests 

Transmission requests shall be processed under one of the following categories: 

• Transmission Claims via Quick Transmission Process (QTP) up to the specific threshold amounts. 

• Transmission Claims via simplified documentation up to the defined threshold amount. 

• Transmission Claims above the defined threshold amount. 

B. Threshold Amounts 

* Per listed entity/MF/ SIF units in SOA (non-demat) form at PAN level. 

** Listed entity may, at its discretion, enhance the value of securities from the threshold limit of rupees ten lakhs, in case of securities held in physical mode. 

# per beneficiary owner for securities/MF units held in demat mode. 

Threshold values defined above refers to the cumulative value of units held by the deceased holder as on claim date. 

If the cumulative value goes beyond the defined threshold values, all claimant(s) should adhere to the processes defined and should not limit their submission only to the extent of value applicable to them. 

The value of units shall be determined by the claimant based on the last declared NAV applicable at the time the fresh or re-submitted transmission request is accepted. 

Units held in Demat Mode:  

In case the mutual fund units are held in dematerialized (Demat) form, the transmission request should be submitted directly to the Depository Participant (DP) with whom the Demat account is maintained. The transmission of such units will be governed by the rules, procedures and documentation requirements prescribed by the respective Depository and Depository Participant. The AMC/RTA will process transmission requests only for units held in Statement of Account (SOA) / non-demat mode.  

1. GUIDELINES FOR TRANSMISSION FOR UNDER VARIOUS SCENARIOS 

The list the documents required for transmission under various scenarios is explained in the following paragraphs: 

A. QTP category (Value up to ₹. 10,000)  

B. For other than QTP category 

C. Change of Karta upon death of the Karta of Hindu Undivided Family (HUF)  

D. Transmission of Units to the claimant/s upon death of the Karta of HUF, where there is no surviving co-parcener or the HUF has been dissolved/partitioned after demise of the Karta. 

E. Transmission claims on investments from minors